Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Henry Spiegelberg is a financial advisor with over 20 years of experience. James is registered with Avantax Planning Partners, Inc. and holds Series 6, 62, 63, 22, and SIE licenses. James has a broad range of experience in the industry, including experience with ProEquities, Inc., H.D. Vest Investment Securities, Inc., and Heritage Professional Group, Inc. James also holds a Certified Public Accountant (CPA) license. James specializes in financial planning, portfolio management for businesses and individuals, and pension consulting.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
WI
10/22/2001 - Present
Avantax Planning Partners, Inc. (WAUWATOSA WI)
WI
09/21/2001 - 09/30/2020
PROEQUITIES, INC. (WAUWATOSA WI)
TX
01/28/1999 - 09/21/2001
H.D. VEST INVESTMENT SECURITIES, INC. (DALLAS TX)
IA
Issued 10/08/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/23/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/26/2011
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 08/06/2001
Series 62 - Corporate Securities Limited Representative Examination
BC
Issued 01/04/1999
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
Not sure James Spiegelberg is the right advisor for you? Invested Better is here to help.
